Listing Information
NYSE Arca Annual Written Affirmation
- NYSE Arca Annual Written Affirmation
- NYSE Arca Annual Written Affirmation FAQ
- NYSE Arca Annual Written Affirmation - Exhibit A Template
- NYSE Arca Annual Written Affirmation - Exhibit B Template
- NYSE Arca Annual Written Affirmation - Exhibit C Template
Removals from Listings
The NYSE publishes two lists of issues pending delisting from the Exchange:
Exchange-initiated delisting
An issue is added to this list upon the Exchange's filing of a Form 25 with the SEC and remains posted until the application to delist the issue becomes effective with the SEC (generally 10 days).
Issuer-initiated delisting
An issue is added to this list one business day after the exchange is notified of the issuer's intent to voluntarily withdraw its listing by filing a Form 25 with the SEC, and remains posted until the issuer's application to delist becomes effective with the SEC.
Regulatory Reminder Letters
- 2016 ETP Compliance Reminders
- 2013 ETP Index Change Guidance Letter
- 2013 Record Data Notice Change Letter
Blue Sky Exemptions
By virtue of a Securities and Exchange Commission (SEC) order in January 1998 that designates NYSE Arca Tier I listed securities as covered securities for the purposes of Section 18(a) of the Securities Act of 1933, Tier I listings are afforded Blue Sky exemption from state securities laws in all 50 states (SEC Release No. 3-7494, January 2, 1998). Under the SEC's order, Section 18(a) preempts any state registration and fee requirements that would otherwise apply to Tier I listings. Tier II listings are afforded for issuer and non-issuer exemptions in the following states and jurisdictions except where noted below.
State | Tier I | Tier II |
---|---|---|
Alabama | X | |
Alaska | X | X |
Arizona | X | X |
Arkansas | X | X |
California | X | 1 |
Colorado | X | X |
Connecticut | X | |
Delaware | X | X |
Florida | X | 1 |
Georgia | X | X |
Hawaii | X | X |
Idaho | X | |
Illinois | X | X |
Indiana | X | |
Iowa | X | |
Kansas | X | X |
Kentucky | X | |
Louisiana | X | |
Maine | X | |
Maryland | X | |
Massachusetts | X | X |
Michigan | X | |
Minnesota | X | |
Mississippi | X | |
Missouri | X | X |
Montana | X | X |
Nebraska | X | |
Nevada | X | X |
New Hampshire | X | |
New Jersey | X | |
New Mexico | X | X |
New York | X | 2 |
North Carolina | X | |
North Dakota | X | |
Ohio | X | |
Oklahoma | X | 1 |
Oregon | X | X |
Pennsylvania | X | |
Rhode Island | X | X |
South Carolina | X | |
South Dakota | X | |
Tennessee | X | |
Texas | X | X |
Utah | X | 1 |
Vermont | X | |
Virginia | X | |
Washington | X | |
West Virginia | X | |
Wisconsin | X | |
Wyoming | X |
- Non-issuer exemption only
- Issuer transactions may be subject to notice filing requirements